John B. Carter
Professional summary
John Bradley Carter was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, John had worked at 7 firms, which includes OMNIVEST INC., FFP SECURITIES INC., MOUNTAIN STATES INVESTMENTS INC., COLORADO INVESTOR RESOURCES INC., OSAIC FS INC., AMERICAN FRONTEER FINANCIAL CORPORATION, CHESLEY AND DUNN INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2002 - March 18, 2008
OMNIVEST, INC.
March 1, 2002 - November 14, 2002
FFP SECURITIES, INC.
March 25, 1987 - December 8, 1987
MOUNTAIN STATES INVESTMENTS, INC.
July 23, 1986 - December 20, 2001
COLORADO INVESTOR RESOURCES, INC.
June 27, 1986 - April 25, 1989
OSAIC FS, INC.
February 7, 1985 - September 24, 1985
AMERICAN FRONTEER FINANCIAL CORPORATION
November 28, 1983 - October 30, 1985
CHESLEY AND DUNN, INC.
State Registrations and Notice Filings
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Exams
Current Firm
OMNIVEST, INC.
CRD#: 13396 / SEC#: , 8-29259
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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